Senior Advisor, Compliance PCG Branch Exams

** Essential Duties and Responsibilities*
* + Execution of the risk-based branch exam program in FINRA-registered and non-registered Private Client Group branches across the country

+ Detailed documentation of testing in branch exam system and related work papers

+ Ensure prescribed sample methodologies are used and resulting sample sizes provide an adequate reflection of the activity being tested

+ Use professional judgement to know when to "ask the next question" as potential risk areas are identified

+ Apply the appropriate risk weight to a given testing activity and/or finding level

+ Clear communication of all exam findings to branch management, exam managers and compliance leadership

+ Provide reporting of exam findings and complete any related follow up in a timely manner

+ Ensure risks and adverse trends are identified and escalated

+ Provide compliance support to business partners, as needed

+ Maintain regular interaction with Compliance and Supervision partners

+ Complete special and ad hoc reviews and projects, as identified, in a quality and timely manner

+ Provide guidance and mentoring to less-experienced peer group members

** Knowledge, Skills, and Abilities*
* ** Advanced knowledge of:*
* + Concepts, practices, and procedures of the securities industry, broker/dealer compliance and/or branch exams

+ Rules and regulations of the SEC, FINRA, and state securities regulatory agencies

+ Fundamental investment concepts, practices, and procedures used in the securities industry

+ Financial markets and products

** Skill in:*
* + Thorough and balanced documentation of work product

+ Clear, concise, cross-functional communications, both written and oral

+ Identification of opportunities for the development, enhanced consistency, and ongoing maintenance of the branch exam program

+ Building strong relationships based on mutual respect, trust, and understanding

+ Establishing credibility with others, presenting oneself with confidence, and holding one's ground when faced with pushback

+ Delivering difficult messages with sensitivity, tact, and diplomacy

+ Proactive identification of emerging risk areas and/or adverse trends and escalations of same to exam management for suggestions on mitigation

+ Problem-solving in a complex environment

+ Effectively navigating the organization to obtain information and achieve objectives

+

Demonstrated proficiency in Microsoft Word and Excel

** Ability to:*
* + Work under pressure on multiple tasks concurrently in a fast-paced work environment

+ Manage time exceptionally well and remain highly organized

+ Gain a thorough understanding and application of PCG policies and procedures

+ Shift focus from one activity to another without impacting the quality of the work

+ Constructively handle disagreements or conflicts to reach a resolution

+ Apply industry experience to proactively identify and anticipate existing and emerging compliance risks

+ Work well independently, but also collaboratively with the team

** Educational/Previous Experience Requirements** :

+ Bachelor's degree (B.A. /B.S.) and a minimum of three (3) years of licensed examination experience.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

*
* Licenses/Certifications:

*
* - Appropriate series license(s) for assigned functional area required or the ability to obtain within an established timeframe.

o Required to have a Series 7, 24 or willing to obtain within 120 days of employment

o Series 9 and 10 can be used instead of the 24

- Additional licenses/certifications demonstrating the candidate's knowledge/expertise in industry regulation and concepts preferred.